科技计划项目第三方评估机制研究-工业工程专业毕业论文.docxVIP

万方数据 万方数据 中文摘要 科技计划项目对促进国家科技实力的进步、提升综合国力发挥着重要作用。 对科研项目及经费的激烈竞争导致学术造假、科研剽窃、侵吞科研经费等行为屡 禁不止，科技计划项目管理工作日趋复杂。为转变政府职能、提高科技计划项目 的评估质量，我国各级政府开始尝试建立科技计划项目第三方评估机制。当前我 国第三方评估机制发展缓慢，尚未形成成熟的科技计划项目第三方评估市场并且 缺乏第三方评估机构。 以往基于制度经济学和委托代理关系的研究均未将第三方评估机构放置在 市场环境中以考察市场因素对第三方评估机构独立性的影响。本文尝试分析第三 方评估机制的优胜劣汰及激励机制，并研究如何保持评估市场中第三方评估机构 的独立性。首先，本文对现有评估机制状况进行梳理，分析了各主体间存在的信 息不对称和委托代理关系，运用博弈模型解释了传统评估机制在激励评审专家和 避免合谋问题上存在的缺陷；其次，本文运用经济学基础理论分析了第三方评估 机制的淘汰机制并运用模型阐述了其激励作用；最后，引入评估收益、声誉回报、 额外评估收益和市场监管等市场构成的必要因素，构建了基于科技管理部门、项 目承担单位和第三方评估机构的动态博弈模型，研究了项目承担者与第三方评估 机构的行为动机形成过程，考察了各因素对第三方评估机构独立性的影响，并对 所构建的模型进行了数值模拟。 研究发现：第三方评估机制有助于评估市场评估水平的提高；第三方评估机 制具有维护第三方评估机构独立性的作用；各市场因素在保持第三方评估机构独 立性方面存在替代效应,各因素对独立性的影响程度存在差别。依据研究结果， 本文提出了确保第三方评估机构的相对独立地位、充分利用市场的约束作用以及 完善行政约束机制等建议。 关键词： 科技计划项目 独立性 第三方评估 ABSTRACT ST planning projects play an important role in promoting the progress of the national scientific and technological strength and enhancing the comprehensive national strength. However, intense competition for projects and funds has led to many problems, such as academic fraud, scientific research plagiarism, misappropriation of research funds, which make the management of ST planning projects increasingly complex. In order to transform government functions and improve the assessment’s quality, governments at all levels have begun to establish the third-party evaluation mechanisms. However, our country has not yet formed a mature market, and the third- party assessment bodies are lack. Previous studies, based on the institutional economics and agency relationships, did not expose the third-party assessment bodies under the market environment to examine the impact of market factors on their independence. This paper attempts to analyze the survival of the elimination and incentive effect of the third-party evaluation mechanism, and discuss how to keep the independence of the third-party assessment agencies in the market. Firstly, the current status of ST assessment mechanism is sorted out. Then the paper analyses